Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

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Investment Advisers, Private Equity In its third rulemaking in two days without holding a meeting, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans. The proposed rule is designed to ensure that investment advisers have plans in place to address operational and other risks related to […] Read more →

by   |   June 28, 2016

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Legislation Amending Volcker Rule Passes in House

Banking, Investment Advisers The Investor Clarity and Bank Parity Act (HR 4096) passed in the U.S. House of Representatives. The Volcker Rule adopted by the regulators limited the ability of bank holding... Read more →

by   |   April 27, 2016

hedge fund

Brokaw Act to Increase Transparency of Activist Hedge Funds

Investment Advisers, M&A, Public Companies and Securities U.S. Senators Tammy Baldwin (D-WI) and Jeff Merkley (D-OR) introduced legislation to increase transparency and strengthen oversight of activist hedge funds. According to the... Read more →

by   |   March 21, 2016

shareholders

SEC Permits Investment Adviser to Submit Shareholder Proposal on Behalf of Client

Investment Advisers, Public Companies and Securities The SEC recently denied no-action relief to a request by Baker Hughes Incorporated to exclude a Rule 14a-8 shareholder proposal submitted by Newground Social Investment, SPC, a... Read more →

by   |   March 11, 2016